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COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
As Published: 2010
COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration
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PERG 5.8 The regulated activities: advising on contracts of insurance
As Published: 2013
PERG 5.8 The regulated activities: advising on contracts of insurance
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MAR 2.5 The Price Stabilising Rules: overseas provisions
As Published: 2003
MAR 2.5 The Price Stabilising Rules: overseas provisions
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SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order
As Published: 2004
SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order
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EG 2.4 Case selection: Unauthorised business
As Published: 2016
EG 2.4 Case selection: Unauthorised business
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REC 4.2B Exercise of passport rights by a UK RIE [deleted]
As Published: 2007
REC 4.2B Exercise of passport rights by a UK RIE [deleted]
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EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling
As Published: 2016
EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling
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SUP 15.10 Reporting suspicious transactions or orders (market abuse)
As Published: 2005
SUP 15.10 Reporting suspicious transactions or orders (market abuse)
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EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974
As Published: 2016
EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974
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DEPP 2.2 Warning notices and first supervisory notices
As Published: 2007
DEPP 2.2 Warning notices and first supervisory notices
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CONC 7.19 Notice of default sums under P2P agreements
As Published: 2014
CONC 7.19 Notice of default sums under P2P agreements
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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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COBS 22.2 Restrictions on the retail distribution of mutual society shares
As Published: 2015
COBS 22.2 Restrictions on the retail distribution of mutual society shares
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DEPP 8.2 Use of the own-initiative variation of approval power: general
As Published: 2015
DEPP 8.2 Use of the own-initiative variation of approval power: general
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PERG 8.30 Medium used to give advice or information
As Published: 2005
PERG 8.30 Medium used to give advice or information
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PERG 7.5 When is it appropriate to apply for a certificate?
As Published: 2005
PERG 7.5 When is it appropriate to apply for a certificate?
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